Rocky Mountain Advisers, LLC
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Overview
Rocky Mountain Advisers, LLC is an advisory company based in Salina, Kansas. The firm controls $2.2 billion in assets under management throughout 373 client accounts, making it one of the biggest firms in the country by assets under management (AUM). It has a small team, including 3 financial advisors. Rocky Mountain Advisers, LLC is not a registered broker-dealer, signifying that the advisor cannot buy and sell securities for its accounts and those of its customers and instead has to go through a broker-dealer company to do so. Securities are tradable fiscal assets such as bonds, options and stocks.
Rocky Mountain Advisers, LLC administers all of its client assets in a discretionary manner. Discretionary management is a structure in which buy and sell judgments for the client's account are made by a portfolio manager without needing client consent. The advisory firm's typical account size is $5.9 million. An average advisor at Rocky Mountain Advisers, LLC oversees around 124 client accounts.
The company's headquarters is located at 2121 E. Crawford Place, Salina, Kansas 67401. It is permitted to provide services to investors across 18 U.S. states and territories.
Assets Under Management
Number of Advisors
Disclosures
Office Location
Rocky Mountain Advisers, LLC by the Numbers
$2.2 billion
9
373
$5.9 million
Products and Services
Rocky Mountain Advisers, LLC offers a number of financial services, including financial planning services, portfolio management for individuals and small businesses and portfolio management for investment companies. Notably, the firm did not provide financial planning services to any of its customers in the last financial year. Rocky Mountain Advisers, LLC does not sell products or offer services other than investment advice to its investment advisory customers. The company is also affiliated with a number of other service providers in the financial services industry, including with a banking or thrift institution and trust company.
Core Advisor Services
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Offered by 31% of firms
Financial Planning Services
This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.
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Offered by 46% of firms
Portfolio Management
This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.
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Market Timing Services
This is the practice of attempting to make short-term profits on investments by buying low and selling high.
Other Services
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Selection of Other Advisors
This is the firm's assistance with choosing other advisors to work with who may have different specialties.
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Publication of Periodicals
This is the publication of various financial education materials.
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Educational Seminars/Workshops
This is the hosting of seminars or workshops to educate investors on financial concepts.
Fee Structure
A financial advisor's fees usually are based on the type of services provided. However, fee types charged by Rocky Mountain Advisers, LLC most likely include the following fee structures: asset-based, hourly or fixed. Rocky Mountain Advisers, LLC does not provide a wrap fee program, in which the company offers a bundle of services for a single fee.
Available
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Offered by 69% of firms
Percentage of Assets
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Offered by 21% of firms
Hourly
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Offered by 32% of firms
Fixed
Unavailable
Types of Clients
Rocky Mountain Advisers, LLC works with retail investors, high net worth investors, investment companies and charitable organizations. Out of its 373 accounts, Rocky Mountain Advisers, LLC's biggest client type by number of accounts is retail investors, though it also caters to 54 high-net-worth individuals. A high-net-worth individual is defined by the SEC as someone who has at least $750,000 in AUM or a net worth of at least $1.50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the company's clients are from outside of the U.S.
- High-Net-Worth Individuals* - 25.47%
- Other Individuals - 71.7%
- Corporations - 0.47%
- Charitable Organizations - 2.36%
* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.
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Disclosures
Rocky Mountain Advisers, LLC does not have any disclosures.
Please visit its Form ADV for more details.
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Financial Advisors at Rocky Mountain Advisers, LLC
Salina, KS
Salina, KS
Salina, KS
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The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.
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